Annual Report by an Investment Company — Form N-SAR — ICA’40
Filing Table of Contents
Document/Exhibit Description Pages Size
1: NSAR-B 10.31.17 Final Nsar 238 971K
13: EX-99.77B ACCT LTTR Audit Control Letter 3± 14K
12: EX-99.77M MERGERS Mergers 3± 13K
3: EX-99.77O RULE 10F-3 Bond (Loomis) 2± 10K
4: EX-99.77O RULE 10F-3 Capital Growth (Morgan Stanley) 3± 13K
5: EX-99.77O RULE 10F-3 Core Bond (Jpm) 99± 407K
6: EX-99.77O RULE 10F-3 Core Bond (Jpm) 6± 20K
7: EX-99.77O RULE 10F-3 Long-Short Strategy (Jpm) 1 7K
8: EX-99.77O RULE 10F-3 Long-Short Strategy (Jpm) 3± 12K
9: EX-99.77O RULE 10F-3 Multi-Managed Balanced (Jpm) 1 7K
10: EX-99.77O RULE 10F-3 Multi-Managed Balanced (Jpm) 3± 12K
11: EX-99.77Q1 OTHR EXHB 17E-1 - Affiliated Brokers 1 6K
2: EX-7 7C Attachment for Series Number Over 99 2± 8K
Schedule A
TRANSACTIONS SUBJECT TO RULE 10f-3 PROCEDURES
Fund: Transamerica Core Bond Fund
Security: See Attached
Issuer: See Attached
Offering Type: 144A
REQUIRED INFORMATION
1. Offering Date
2. Trade Date
3. Unit Price of Offering
4. Price Paid per Unit
5. Years of Issuer's Operations
6. Underwriting Type
7. Underwriting Spread
8. Total Price paid by the Fund
9. Total Size of Offering
10. Total Price Paid by the Fund plus Total Price
Paid for same securities purchased by the
same Sub-Adviser for other investment
companies
11. Underwriter(s) from whom the Fund
purchased (attach a list of all syndicate
members)
12.If the affiliate was lead or co-lead manager,
was the instruction listed below given to the
broker(s) named in #11? ****
ANSWER
See Attached
See Attached
See Attached
See Attached
More than 3
Firm
See Attached
See Attached
See Attached
See Attached
See attached
Yes
APPLICABLE RESTRICTION
None
Must be the same as #1
None
Must not exceed #3
Must be at least three years *
Must be firm
Sub-Adviser determination to be made
None
None
#10 divided by #9 must not exceed
25% **
Must not include Sub-Adviser
affiliates ***
Must be "Yes" or "N/A"
In Compliance
(Yes/No)
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
The Sub-Adviser has no reasonable cause to believe that
the underwriting commission, spread or profit is NOT
reasonable and fair compared to underwritings of similar
securities during a comparable period of time. In
determining which securities are comparable, the Sub-Adviser
has considered the factors set forth in the Fund's 10f-3
procedures.
__________________________________
Anna K. Jensen, Vice President
J.P. Morgan Investment Management, Inc.
* Not applicable to munis. In the case of munis,
(i) the issue must have one investment grade rating or
(ii) if the issuer or the revenue source has been in
operation for less than three years, the issue must have
one of the three highest ratings. Circle (i) or (ii),
whichever is met.
** If an eligible Rule 144A offering, must not exceed
25% of the total amount of same class sold to QIBs in the
Rule 144A offering PLUS the amount of the offering of the
same class in any concurrent public offering
*** For munis purchased from syndicate manager, check
box to confirm that the purchase was not designated as a
group sale. [ ]
**** The Sub-Adviser's affiliate cannot receive any
credit for the securities purchased on behalf of the Fund.
Schedule A
TRANSACTIONS SUBJECT TO RULE 10f-3 PROCEDURES
Fund: Transamerica Core Bond Fund
Security: See Attached
Issuer: See Attached
Offering Type: US Registered
REQUIRED INFORMATION
1. Offering Date
2. Trade Date
3. Unit Price of Offering
4. Price Paid per Unit
5. Years of Issuer's Operations
6. Underwriting Type
7. Underwriting Spread
8. Total Price paid by the Fund
9. Total Size of Offering
10. Total Price Paid by the Fund plus Total Price
Paid for same securities purchased by the
same Sub-Adviser for other investment
companies
11. Underwriter(s) from whom the Fund
purchased (attach a list of all syndicate
members)
12. If the affiliate was lead or co-lead manager,
was the instruction listed below given to the
broker(s) named in #11? ****
ANSWER
See Attached
See Attached
See Attached
See Attached
More than 3
Firm
See Attached
See Attached
See Attached
See Attached
See attached
Yes
APPLICABLE RESTRICTION
None
Must be the same as #1
None
Must not exceed #3
Must be at least three years *
Must be firm
Sub-Adviser determination to be made
None
None
#10 divided by #9 must not exceed
25% **
Must not include Sub-Adviser
affiliates ***
Must be "Yes" or "N/A"
In Compliance
(Yes/No)
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
The Sub-Adviser has no reasonable cause to believe
that the underwriting commission, spread or profit
is NOT reasonable and fair compared to underwritings
of similar securities during a comparable period of
time. In determining which securities are comparable,
the Sub-Adviser has considered the factors set forth
in the Fund's 10f-3 procedures.
__________________________________
Anna K. Jensen, Vice President
J.P. Morgan Investment Management, Inc.
* Not applicable to munis. In the case of munis,
(i) the issue must have one investment grade rating or
(ii) if the issuer or the revenue source has been in
operation for less than three years, the issue must have
one of the three highest ratings. Circle (i) or (ii),
whichever is met.
** If an eligible Rule 144A offering, must not
exceed 25% of the total amount of same class sold to QIBs
in the Rule 144A offering PLUS the amount of the offering
of the same class in any concurrent public offering
*** For munis purchased from syndicate manager, check
box to confirm that the purchase was not designated as a
group sale. [ ]
**** The Sub-Adviser's affiliate cannot receive any
credit for the securities purchased on behalf of the Fund.
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